Stephen V. Donato
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Vincent Donato was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 3 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 1994 - October 15, 1999
TULLETT LIBERTY BROKERAGE INC.
October 18, 1991 - April 11, 1994
DEALERWEB LLC
July 3, 1989 - July 17, 1990
CHAPDELAINE & CO. GOVERNMENT SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TULLETT LIBERTY BROKERAGE INC.
CRD#: 19717 / SEC#: , 8-38114
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
